If you experience:
- Chronic unreturned phone calls.
- Unauthorized transactions on your account statement.
- Statements that include charges and earnings you cannot identify.
- Stock values that drop quickly.
- Market trends and earnings that are not comparable.
- Broker recommended investments that decline in value more times than not.
- Lack of disclosure of pertinent information to your decisions to invest by your broker.
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Broker Fraud & Misconduct
Unlawful Broker Activity
Brokers have a duty to make appropriate investment recommendations based on each client’s individual situation. A broker must fairly and accurately disclose known investment risks. Misrepresentations and omissions most often occur to disguise the magnitude of a risk associated with reward. If a broker misrepresents or fails to disclose facts material to investment decision-making and losses occur, a broker and the brokerage firm can be held liable for an investor's losses.
You have rights as an investor. If you note any suspicious activity, or feel you’ve been wronged, you may be entitled to recover losses as a result of broker misconduct.
Any time a broker engages in deceptive, misleading or improper behavior which causes you financial harm, seek immediate legal council to help protect your interests. You have a right to recover some or all of the money lost at the hands of unscrupulous brokers and or brokerage firms. These disputes frequently involve issues such as:
- mismanagement and misrepresentation
- churning or excessive transactions
- unauthorized trading
- unsuitable investments
Arbitration & Mediation
FINRA is the dispute arm of the SEC with its own rules for mediation and trial of disputes arising from broker misconduct and securities fraud. Arbitrators and mediators trained by FINRA are often not legal professionals, and the mission of FINRA is not necessarily to protect the investor.
FINRA employs the tools of mediation and arbitration to resolve disputes investors have with their brokers and advisors. Mediation is a settlement process whereby investors can create compromised resolution or settlement with their brokers. Settlement through FINRA is not as flexible as mediation in common litigation but is often a useful and beneficial tool in helping investors find restoration to wholeness without having to undergo the stress and frustration of arbitration, which is more likened to a trial.
Being Taken is Hard. Tucker Veach Can Help You Take it Back.
The consequences of securities fraud have enormous implications for investors and their futures. It happens when brokers manipulate stocks or fail to properly disclose accurate information about a company’s operations, financials and earnings potential, leaving an unwitting investor holding an empty bag.
Attorney Tucker Veach focuses on securities and investment fraud law. He and his small firm acquire big results for his clients through hard work, strategic skill, careful planning and investigation, and meticulous attention to detail. Unquestionably, he has the experience and resources necessary to help see fraud claims through to the end. Whether you’ve lost a lot or a little, he understands that your money is important and will treat your case with the seriousness that it deserves.